Explore the intricacies of identifying conflicts of interest in finance, their potential impacts, and proactive management strategies.
Explore the comprehensive disclosure requirements in the Canadian securities industry, focusing on legal obligations, ethical standards, and effective communication strategies to ensure transparency and trust.
Explore the intricate ethical dilemmas faced by financial professionals, understand contributing factors, and learn strategies for resolving conflicts in the Canadian securities industry.
Explore the role, features, and impact of Electronic Communication Networks (ECNs) in modern securities trading, highlighting their contribution to market efficiency and comparison with traditional exchanges.
Explore the complexities and risks associated with the clearing and settlement processes in securities transactions, including operational, credit, and liquidity risks, and the regulatory measures in place to mitigate these risks.
Explore the principles of obtaining valid consent under privacy laws, effective communication of privacy policies, and best practices for consent processes in the Canadian securities industry.
Explore the essential steps and strategies in remediation actions following compliance failures in the Canadian securities industry. Learn how firms can restore compliance, prevent future issues, and minimize long-term consequences.
Explore the litigation risks in Canadian securities, focusing on regulatory non-compliance, legal actions, and strategies for managing and mitigating these risks.
Explore the intricacies of Over-the-Counter (OTC) Markets in Canada, including their operation, securities traded, risks, benefits, and regulatory considerations.
Explore the diverse types of ETFs available to investors, including index, actively managed, sector, commodity, bond, currency, leveraged, and inverse ETFs. Understand their characteristics, risks, and considerations for investment.
Explore the compliance obligations of fund managers and advisors in the Canadian securities industry, emphasizing the importance of regulatory adherence, the consequences of non-compliance, and best practices for maintaining ethical standards.
Explore the role, responsibilities, and impact of the Autorité des marchés financiers (AMF) in regulating Quebec's financial markets, ensuring compliance, and protecting consumers.
